因员工存在违规行为，国泰海通一分公司及营业部被监管警示

北京商报07-03 20:10

7月3日，新疆证监局发布公告表示，经查，国泰海通证券新疆分公司存在员工存在操作客户证券账户的情形。国泰海通证券乌鲁木齐新华北路证券营业部存在个别员工委托证券经纪人以外的其他个人进行客户招揽活动、对相关异常交易行为监测不充分等问题。何曾麟作为证券从业人员，在国泰海通乌鲁木齐新华北路证券营业部任职期间，存在委托经纪人以外的其他个人招揽客户的行为；在国泰海通证券新疆分公司任职期间，存在操作客户证券账户的...

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